As the Chief of Controls, Kalli is responsible for the strategy, management, implementation, and overall leadership of the controls program functions for two OSJs (FINRA Offices of Supervisory Jurisdiction), over 250 Financial Professionals and registered staff and over 50 detached locations throughout the Southern California Region of Equitable Advisors, LLC. She has been in the financial services industry for over 15 years.
Kalli was the recipient of the Patricia Roy Leadership Award in 2014, Equitable Advisors highest honor for a controls professional, as well as a recipient of the Branch Controls Manager Leadership Award, West Region, in 2014, 2016 and 2017. She was Co-Chair of the Branch Controls Manager Advisory Council in 2016.
Kalli completed her undergraduate as well as her Master’s degree in Business Administration at the City University of New York – Baruch College, Zicklin School of Business. She currently holds the Certified Anti-Money Laundering Specialist (CAMS), a California Insurance License as well as the FINRA Series 4, 7, 24, 53, and 66 securities registrations.
Kalli is also currently serving the investing public and the securities industry as an independent contractor Arbitrator with FINRA.
California Insurance License #: 0I26606
Kalliopi Vlahu, as a delegated registered principal, provides administrative support services.